Self-Examination Questionnaire

On an annual basis, NFA Member futures commission merchants (FCM), retail foreign exchange dealers (RFED), introducing brokers (IB), commodity pool operators (CPO) and commodity trading advisors (CTA) must review their operations using NFA's Self-Examination Questionnaire. The questionnaire is designed to aid Members in recognizing potential problem areas and to alert them to procedures that need to be revised or strengthened.

Self-Examination Questionnaire

• Entire Self-Examination Questionnaire (PDF)
• Entire Self-Examination Questionnaire (Word)
• Revision Notes (Last Revision January 22, 2024) (HTML)

Self-Exam Questionnaire Appendix A - Anti-Money Laundering Questionnaire

• Appendix A—Anti-Money Laundering Questionnaire (PDF)
• Appendix A—Anti-Money Laundering Questionnaire (Word)

Self-Exam Questionnaire Appendix B - Business Continuity and Disaster Recovery Plan Questionnaire

• Appendix B—Business Continuity and Disaster Recovery Plan Questionnaire (PDF)
• Appendix B—Business Continuity and Disaster Recovery Plan Questionnaire (Word)

Self-Exam Questionnaire Appendix C - Ethics Training Policy Questionnaire

• Appendix C—Ethics Training Policy Questionnaire (PDF)
• Appendix C—Ethics Training Policy Questionnaire (Word)